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Requiring brokers and advisors to provide retail investors with more "concise" disclosures could be a better alternative to adopting uniform fiduciary duty rules for both professions, a top U.S...
Raymond James advisors and associates volunteered close to 4,000 hours for 90 organizations.
SEC commissioners should receive an analysis early next year of the potential costs and benefits of imposing a fiduciary duty on broker-dealers, an agency official told Financial Advisor magazine...
Finra executive vice president of regulatory operations Susan Axelrod says the agency is considering whether to post brokers' Series 7 scores on BrokerCheck, its public Web site.
Halbert Hargrove includes thirtysomething staffers in its leadership transition plans.
Big broker-dealers continue to improve their platforms for advisors with better navigation, client information and mobile apps.
The brokerage firm has expanded its hiring pool by recruiting wirehouse advisors.
Finra on Tuesday proposed a rule to implement its controversial Comprehensive Automated Risk Data System plan, known as Cards.
State sanctions against registered investment advisors were up slightly in 2013, while penalties against brokers surged 39 percent, the Nasaa said.
The recent death of a pedestrian hit by a New York City cyclist has renewed public debate about whether the sport is appropriate in a crowded city.
Financial Advisor Blogs
Portfolio Manager Insights
Nick Murray reviews a book he calls "the best work on the subject that we will ever have." + Read more
In many cases you'll be able to help clients get more in benefits if you understand how they can collect on their former spouses' work records, says columnist Dan Moisand. + Read more